The country mentioned in the title is mainly South Korea

1Which of the following is not a fund fee saving scheme?

1. Visit Fund Supermarket to find funds with low fees.

2. Purchase E-Fund or M-Fund via Internet or Mobile.

3. Buy foreign-made funds, not domestic funds.

4. Purchase Umbrella Fund to save fund repurchase fee

2 Which of the following is not a reason for the company to buy treasury stocks? 1. Provide shareholders with capital income instead of dividends, saving taxes. 2. Compared with hostile mergers and acquisitions, increase the stock holding rate of enterprises. 3. This is an example of demonstrating the excellent management ability of the operator. 4. Bring the purpose or result of raising low stock prices.

3 What is wrong in the description of the stock? 1. Shares are the basic unit for generating capital, and the total face value of the issued shares becomes capital. 2. Preference shares are not included in the legal capital output under any circumstances. 3. The new type of preferred stock is different from the old type of preferred stock in terms of the minimum dividend rate announced to the articles of association.

4. New-type preferred stocks are mostly the same as bonds, which are repaid after a period of time

4 What is wrong in the concepts and characteristics of the 4 stocks?

1. my country recognizes shares without par value in the commercial law. 2. In my country, registered stocks are the principle. 3. Repayment of stocks is recognized for common stocks and preferred stocks. 4. The par value of par shares does not have to be fixed at 5,000 won

5 What is wrong in the concepts and characteristics of various funds? 1. After the Spot Fund reaches the target rate of return, it will return the investment principal to the customer in advance one year before the maturity. 2. The fund refers to the fund with the best performance among the funds. 3. The system fund is operated by the system machinery determined when the fund is set up. 4. SRI funds mainly invest in companies that are not only responsible for corporate income, but also responsible for human rights and the environment.

6. What is wrong about ETF? 1. The abbreviation of foreign exchange trading fund is a mutual fund that lists index funds on the exchange. 2. The fund handling fee of ETF is much cheaper than index fund investment. 3. Regional ETFs are linked to specific industry indexes such as banking, semiconductor, automotive and IT industries. 4. In ETF transactions, restrictions on loans and auctions.

7What is wrong about mutual fund fees? 1. The most expensive handling fee for operation, sales, storage and remittance is the handling fee.

2. The lowest commission charge in the stock hybrid bond is bond.

3, most of China's funds in 3 months redemption, 70% of the return will be deducted repurchase charges.

4. In the fee form, type A fund is paid by afterfund, while Type C fund is paid by advance fund.

8. What is the most wrong expression in the type or classification of mutual funds? 1 The stock placement ratio of growth funds is above 70%. 2 The proportion of stocks of stable growth funds is 41% to 69%. 3 Bond funds do not include stocks. 4 Stock funds do not include bonds

9 What is wrong in the concept and definition of mutual funds? 1. Corporate investment trusts are securities investment companies. 2. Securities investment companies cannot hire staff, nor can they set up business halls (branches).

3. Corporate investment trusts can issue corporate bonds for fund raising. 4. In securities investment companies, shareholders invest in securities by raising funds in the form of capital contributions.

10. Is there any error in the content regarding the repurchase and cancellation of investment trusts? 1. Repurchase means that the holders of income securities demand repayment from the investment trust company. 2. Cancellation refers to the abandonment of income securities by the investment trust company before the end of the trust contract. 3. The trust net profit exceeds the original target level, and the investment trust may be cancelled. 4. The investment trust company may terminate the investment trust at any time according to the resolution of the shareholders. 11 Is there anything wrong in the description of corporate bonds? 1. Most of my country's corporate bonds are benchmark bonds that repay interest every three months. 2. Unsecured unsecured corporate bonds are called indenture bonds. 3. Guaranteed sub-bonds are less common than guaranteed loans, so they are not common. 4. Companies that issue corporate bonds generally have a new industry rating of A or higher at the time of issuance

12. What is the error content of CB and BW? 1. The issuance rate of convertible corporate bonds (CB) is lower than that of ordinary corporate bonds. 2. CB issuing companies can improve their capital structure while reducing financial burdens. 3. Even if BW (Warrant Corporate Bonds) becomes active, the contractual conditions of the corporate bonds will continue until maturity. 4. my country's BW only allows the separated type and non-separable type.

13. What is wrong about my country's listing system? 1. IPO stocks are generally undervalued, so it is difficult to be distributed like lottery winnings. 2. my country's investment banks (IB) are internationalizing due to the progress made in the internationalization of the capital market. 3. Securities companies that participate in securities issuance affairs and issuance risks are called investment banks (IB). 4. The listing requirements change at any time with the securities situation.

14. What is wrong in the traditional total acquisition? 1. Organize a buyout group to sell securities publicly. 2. Purchase securities directly from the securities issuing company. 3. The bond issuance market is mainly total purchases. 4. The issuing company assists in the issuance of securities through the public recruitment process, but does not assume the risk of unacquired issuance. 15. Which of the following is not a non-public offering (private placement)? 1. Allocate new shares from the paid certifier to the Woori stock portfolio 2. In the issuance of corporate bonds, purchase to specific fixed-term institutional investors 3. Allocate the right to purchase new shares to old shareholders 4. IPO will allocate new shares to risk portfolios or establish members

16 What is wrong in the description of the securities market? 1. The circulation market is the trading market for existing securities. 2. The issuance market is the creation market for new securities. 3. The KOSDAQ market in my country is an off-market market like the NASDAQ in the United States. 4. K-OTC is a representative OTC market in my country. 17. What is bookbuilding during the IPO process? 1. IB's IPO stock promotion strategy 2. Purchase of undervalued stocks 3. The process of forecasting IPO stocks 4. Publicly book the stock promotion strategy of the company

18. What is the most realistic and reasonable process in IPO stock pricing? 1. Evaluate the revenue value of publicly scheduled companies. 2. Evaluate the asset value of the publicly scheduled enterprise. 3. IB's bookbuilding course. 4. Refer to the stock price levels of similar companies that have been disclosed 19. Which financial institutions do not participate in the issuance market?

1underwriter

2 IB

3savings & loan bank

4financial intermediary